How to Develop an IMS Audit Checklist

An Integrated Management System (IMS) combines several management systems, such as Quality Management System (QMS), Environmental Management System (EMS) and Occupational Health and Safety Management System (OHSMS) amongst other, into a single framework to manage an organisation’s operations. An IMS audit is an essential tool to ensure that the organisation’s management systems are effectively integrated and functioning correctly. In this article, we will guide you on how to develop an IMS audit checklist to help you identify areas of improvement in your organisation’s IMS.

Identify the Scope of the Audit

The first step in developing an IMS audit checklist is to identify the scope of the audit. The scope should define the boundaries of the audit, including the processes, functions and departments that will be audited. The scope should be based on the organisation’s objectives, risks and opportunities. The scope should also consider the requirements of the management systems standards that the organisation has adopted, such as ISO 9001 for QMS, ISO 14001 for EMS and ISO 45001 for OHSMS.

Define the Audit Criteria

The next step is to define the audit criteria. The audit criteria are the standards, procedures, and requirements against which the audit will be conducted. The audit criteria should be based on the organisation’s policies, objectives and legal requirements. The audit criteria should also consider the requirements of the management systems standards that the organisation has adopted.

Determine the Audit Methodology

The audit methodology is the approach used to conduct the audit. The methodology should be based on the organisation’s objectives, risks and opportunities. The methodology should also consider the requirements of the management systems standards that the organisation has adopted. The audit methodology can be either a process-based approach or a risk-based approach.

Develop the IMS Audit Checklist

The IMS audit checklist is the tool used to guide the auditor during the audit. The audit checklist should be developed based on the audit criteria and the audit methodology. The audit checklist should be comprehensive, covering all aspects of the IMS. The audit checklist should also be easy to use and understand.

Review and Approval of the IMS Audit Checklist

The audit checklist should be reviewed and approved by the person responsible for the organisation’s audit program prior to the audit. The review ensures that the audit checklist covers all aspects of the IMS and meets the organisation’s objectives. It should also be ensured that the audit checklist is consistent with the organisation’s policies, objectives and legal requirements.

Train the Audit Team

The audit team should be trained on the audit checklist, the audit criteria and the audit methodology. The training should also cover the organisation’s policies, objectives and legal requirements. The training ensures that the audit team understands the audit process and can conduct the audit effectively.

Conduct the Audit

The audit team should conduct the audit based on the IMS audit checklist and the audit methodology. The audit team should review the organisation’s policies, procedures and records to ensure that they are consistent with the audit criteria. The audit team should also interview the organisation’s employees to verify that they understand the organisation’s policies, procedures and legal requirements.

Report the Audit Findings

After completing the audit, the audit team should report their findings to the organisation’s management team. The audit report should include a summary of the audit findings, including any non-conformances and opportunities for improvement. The audit report should also include recommendations for corrective actions.

Follow-up on Corrective Actions

The organisation’s management team should follow up on the corrective actions recommended in the audit report. The management team should ensure that the corrective actions are implemented, and their effectiveness is verified. The follow-up ensures that the organisation’s IMS is continuously improving.

Conclusion

Developing an IMS audit checklist is a crucial step in ensuring that an organisation’s management systems are effectively integrated and functioning correctly. The checklist should be comprehensive, covering all aspects of the IMS and should be easy to use and understand. The checklist should be based on the organisation’s objectives, risks and opportunities. It should consider the requirements of the management systems standards that the organisation has adopted.

If you are interested in improving your IMS and need support with auditing it, then contact us for a free consultation.